Comments on Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 223

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Date Received
Date Letter Type Commenter Name
Public Comment Brian Havekost
Public Comment Charles B. Stalford, Fairfax, Virginia
Public Comment Dr. Harold P. Wittman, Member, National Association of Financial Planners
Public Comment Eben Halberstam, Fairfax, Virginia
Public Comment Evan H. Farr, J.D., Certified Estate Advisor; Member, National Academy of Elder Law Attorneys
Public Comment Herbert Rosenfeld
Public Comment James Williams
Public Comment Jerome Ackerman, Chevy Chase, Maryland
Public Comment John Karoussos
Public Comment Kevin B. DeLacy
Public Comment Lisa Squire, Gaithersburg, Maryland
Public Comment Mary Frances Jetton, CPA
Public Comment Michael E. Simon
Public Comment Michelle G. Murphy, QKA, Vice President - Trust, Glenview State Bank, Glenview, Illinois
Public Comment Nina Foster
Public Comment Paul Peak, McLean, Virginia
Public Comment Rick Blain, Principle, Employee Benefit Consulting Services, Trabuco Canyon, California
Public Comment Cindy Storm Fischer
Public Comment Duane R. Thompson, Group Director, Advocacy, Financial Planning Association
Public Comment Thomas S. Rogers, CFP, Principal, PEPG
Public Comment Gregory Lucas, CFP, SunAmerica Securities, Inc., Sacramento, CA
Public Comment Ron A. Rhoades, Director of Research, Chief Compliance Officer, Joseph Capital Management, LLC, Hernando, Florida
Public Comment Ron A. Rhoades, B.S., J.D., Chief Compliance Officer and Director of Research, Joseph Capital Management, LLC
Public Comment Christopher W. Hansen, Associate Executive Director, AARP
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid, regarding an April 28, 2003 meeting with Charles Schwab & Co.
Public Comment Mike Udoff
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid, regarding an October 3, 2002, meeting with representatives of the Consumer Federation of America, Consumers Union, Common Cause and U.S. Public Interest Research Group
Public Comment Mark Kulow
Public Comment William M. Baxter, financial advisor
Meeting with SEC Officials Memorandum from Office of Commissioner Goldschmid regarding a December 27, 2002 meeting with Fund Democracy

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
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